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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Richard Butler is a financial advisor registered with UBS Financial Services Inc.. He is a registered investment advisor and broker-dealer. Thomas has been in the industry since 1981. Thomas has passed the Series 3, 7, 9, 10, 24, 63, and 65 exams. Thomas has offices in Hyannis and Yarmouth Port, MA. Thomas has been with UBS Financial Services Inc. since 1991.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MA
07/19/2012 - Present
UBS Financial Services Inc. (HYANNIS MA)
NY
09/06/1985 - 10/01/1991
FIRST ALBANY CORPORATION (NEW YORK NY)
NA
06/28/1982 - 09/13/1985
FAHNESTOCK & CO.
NA
05/18/1981 - 06/09/1982
OTC NET INCORPORATED
IA
Issued 11/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/06/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/04/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2001
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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